Lawrence D. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lawrence Donald Smith, who also goes by Larry Smith, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1983. Lawrence had worked at 13 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2021 - September 15, 2021
BROOKSTONE CAPITAL MANAGEMENT LLC
October 2, 2015 - December 31, 2019
PRINCIPAL SECURITIES, INC.
September 3, 2015 - December 31, 2019
PRINCIPAL SECURITIES, INC.
June 15, 2015 - September 21, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 10, 2015 - September 21, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 8, 2014 - August 15, 2014
OSAIC SERVICES, INC.
May 5, 2014 - August 15, 2014
OSAIC SERVICES, INC.
December 19, 2011 - February 25, 2013
PRINCIPAL SECURITIES, INC.
December 8, 2011 - February 25, 2013
PRINCIPAL SECURITIES, INC.
January 14, 2011 - December 12, 2011
MML INVESTORS SERVICES, LLC
January 4, 2011 - December 12, 2011
MML INVESTORS SERVICES, LLC
August 21, 2008 - December 9, 2010
MSI FINANCIAL SERVICES, INC.
August 5, 2008 - December 9, 2010
MSI FINANCIAL SERVICES, INC.
February 23, 2007 - July 21, 2008
PRINCIPAL SECURITIES, INC.
January 17, 2007 - July 21, 2008
PRINCIPAL SECURITIES, INC.
August 25, 2004 - April 14, 2005
W&S BROKERAGE SERVICES, INC.
January 17, 2003 - December 8, 2003
W&S BROKERAGE SERVICES, INC.
February 7, 2002 - December 11, 2002
PRINCIPAL SECURITIES, INC.
January 26, 1995 - January 14, 2002
PRINCIPAL SECURITIES, INC.
January 27, 1992 - February 14, 1995
WOODBURY FINANCIAL SERVICES, INC.
June 29, 1989 - December 31, 1991
WOODBURY FINANCIAL SERVICES, INC.
March 31, 1989 - May 19, 1989
MUTUAL SERVICE CORPORATION
November 10, 1988 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
January 11, 1988 - October 31, 1988
SIGMA FINANCIAL CORPORATION
January 7, 1987 - December 16, 1987
THE SAXON GROUP, INC.
February 27, 1985 - December 12, 1986
WOODBURY FINANCIAL SERVICES, INC.
August 30, 1983 - May 14, 1984
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 73,650 |
| AUM (Assets Under Management) | $ 10,409,137,908 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
